Brian Richard Baine

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2025: Between March 2022 and July 2023, Baine signed or caused a third party to sign the signatures of eight non-securities customers on twenty insurance-related documents without the customers' permission. In so doing, Baine violated FINRA Rule 2010. For this conduct, Baine is suspended for three months and fined $5,000...
Reference 2023080198401data-portal.finra.org finra.org

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